Our attorneys represent broker-dealers, investment advisers and investment professionals in FINRA, NYSE, CBOE and American Arbitration Association (AAA) arbitrations and mediations. We defend the following charges for our clients:

• Securities fraud
• Breach of fiduciary duty
• Unsuitability
• Churning
• Negligence
• Failure to supervise
• Improper order executions
• Unauthorized trading
• Excessive commissions and markups
• Overconcentration of investments

In addition, we have extensive experience representing broker-dealers and investment advisers in employment-related claims, including disputes related to employee raiding, unfair competition and restrictive covenants, as well as claims related to Form U5 defamation.